Keller v. Deerfield Episcopal Ret. Cmty. ( 2020 )


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  •                 IN THE COURT OF APPEALS OF NORTH CAROLINA
    No. COA19-633
    Filed: 2 June 2020
    Buncombe County, No. 17 CVS 500
    NANCY KELLER, by and through her attorney-in-fact, LESLIE ANN KELLER,
    Plaintiff,
    v.
    DEERFIELD EPISCOPAL RETIREMENT COMMUNITY, INC. and JEFFREY
    TODD EARWOOD, Defendants.1
    Appeal by plaintiff from order entered 17 August 2018 by Judge Marvin P.
    Pope, Jr., in Buncombe County Superior Court, and from judgment entered 6
    November 2018 by Judge Thomas H. Lock in Buncombe County Superior Court.
    Heard in the Court of Appeals 5 February 2020.
    Law Office of David Pishko, P.A., by David Pishko, for plaintiff-appellant.
    Parker Poe Adams & Bernstein LLP, by John H. Beyer and Katherine H.
    Graham, for defendant-appellee Deerfield Episcopal Retirement Community,
    Inc.
    Dickie, McCamey & Chilcote, PC, by Joseph L. Nelson, for defendant-appellee
    Jeffrey Todd Earwood.
    ZACHARY, Judge.
    Plaintiff Nancy Keller, by and through her attorney-in-fact, Leslie Ann Keller,
    appeals from (1) an order granting summary judgment and dismissing Keller’s claims
    1 Defendant Earwood’s first name is spelled inconsistently throughout the record. Accordingly,
    we adopt the spelling found in the order and judgment from which Plaintiff appeals.
    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    against Defendant Deerfield Episcopal Retirement Community, Inc.; and (2) a
    judgment entered upon a jury’s verdict finding in favor of Defendant Jeffrey Todd
    Earwood on Keller’s claim of battery. After careful review, we affirm.
    Background
    In April 2013, Plaintiff Nancy Keller (“Keller”) joined Defendant Deerfield
    Episcopal Retirement Community, Inc. (“Deerfield”), as an independent living
    resident.   In December 2014, Keller moved to Deerfield’s assisted living section
    because “she was consistently forgetting to do things” and required supervision. Soon
    thereafter, on 11 March 2015, Keller moved to Deerfield’s skilled nursing section, due
    to her advanced dementia.
    Defendant Jeffrey Todd Earwood (“Earwood”), was employed as a certified
    nursing assistant at Deerfield. On 30 March 2015, Earwood was assisting Deerfield
    residents returning to their rooms after lunch when he noticed Keller walking down
    the hallway, “heading in the wrong direction” and “looking confused.” Earwood
    offered to help her back to her room, which was a usual task after lunch. While
    Earwood was helping Keller, another Deerfield staff member asked for Earwood’s
    help with a dressing change for a patient in the neighboring room.
    Earwood led Keller into her room, closing the bottom half of the Dutch door
    behind them, but leaving the top half open. When Keller asked Earwood where she
    should sit, he reminded her that this was her room, and she could sit anywhere she
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    wanted. Keller sat on her bed, and Earwood asked her if he could get her anything.
    Keller replied that she did not “know if [she] c[ould] trust [him,]” so Earwood sat
    down beside her on the edge of the bed, getting “eye level”—as he was trained to do—
    and jokingly asked Keller, “[I]s this not a face you can trust?” Keller responded,
    “[T]he rest is up to you.” Earwood then stood up and told Keller that he would “prove
    [him]self” in order to earn her trust. He patted Keller on the shoulder, and Earwood
    left to help with another patient’s dressing change. Earwood was in Keller’s room
    “for approximately one minute.”
    Soon thereafter, Keller’s personal aide, Iris Hinze, arrived. Keller told her aide
    that “someone had exposed himself to her and had put her hand on his private parts.”
    Hinze then stepped in the hallway, and asked Earwood if “it was him who had walked
    [Keller] back to her room[.]” Earwood confirmed and inquired whether “everything
    was okay,” and then left to finish his shift.
    Upon Keller’s request, Hinze called Keller’s daughter, Leslie Ann Keller, and
    Keller informed her of the alleged incident.           Leslie arrived at Deerfield soon
    thereafter, and she took Keller and Hinze to meet with the facility’s social worker.
    Keller shared with the social worker that “a man had come into her room and exposed
    himself to her.” She also told the social worker that the man had “placed her hand
    on his private parts and . . . fondled himself” in front of her.
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    The acting director of nursing was immediately notified of the incident, and
    Earwood was questioned about the alleged sexual battery during a phone call with
    Deerfield’s director of quality assurance and the unit coordinator. Earwood was
    suspended, pending Deerfield’s internal investigation of the sexual battery
    allegation.
    On 31 March 2015, Deerfield submitted the required 24-Hour Initial Report to
    the North Carolina Department of Health and Human Services, Health Care
    Personnel Registry.      Deerfield timely submitted the requisite “5-Working Day
    Report” on 6 April 2015. Deerfield concluded its internal investigation that day,
    determining that it was “unable to substantiate allegations” due to the absence of
    direct witnesses, Keller’s clinical diagnosis of dementia, and a physician’s
    determination that she lacked capacity. After 31 March 2015, Keller never raised the
    allegation again.
    On 7 April 2015, Earwood was reinstated and permitted to return to work.
    Upon his return, Earwood was assigned to work on a different hall where he did not
    have direct contact with Keller, and where he received more supervision.
    By mid-June 2015, the Healthcare Personnel Registry; Buncombe County
    Department of Social Services, Adult Protective Services Unit (“DSS”); and the North
    Carolina Division of Health Service Regulation had received reports about the alleged
    assault.      The three agencies independently concluded that the allegation was
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    unsubstantiated. However, Leslie did not agree with these conclusions, and thus, as
    attorney-in-fact for her mother, on 30 January 2017, Leslie filed a complaint
    asserting claims against Earwood and Deerfield. Specifically, the complaint asserted
    claims for assault and battery against Earwood. The complaint also asserted claims
    against Deerfield for ratification of Earwood’s assault and battery under the theory
    of respondeat superior, and for negligent supervision and retention of Earwood. She
    also sought to recover punitive damages from Deerfield.
    On 9 March 2017, Earwood filed a motion to dismiss, answer, and affirmative
    defenses. On 6 June 2018, Deerfield moved for summary judgment and attorney’s
    fees. Earwood also moved for summary judgment on 23 July 2018.
    Defendants’ motions for summary judgment came on for hearing before the
    Honorable Marvin P. Pope, Jr., in Buncombe County Superior Court on 13 August
    2018. On 17 August 2018, Judge Pope entered orders denying Earwood’s motion for
    summary judgment, granting Deerfield’s motion for summary judgment, dismissing
    Keller’s claims against Deerfield with prejudice, and denying Deerfield’s motion for
    attorney’s fees.
    On 24 September 2018, Keller’s claims against Earwood came on for trial by
    jury in Buncombe County Superior Court, the Honorable Thomas H. Lock presiding.
    On 28 September 2018, Judge Lock granted Earwood’s motion for directed verdict on
    the claim of assault. On 1 October 2018, the jury unanimously found that Earwood
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
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    did not commit a battery upon Keller, and on 6 November 2018, Judge Lock entered
    judgment in accordance with the jury’s verdict.
    Keller filed timely notice of appeal to this Court from the order granting
    summary judgment in favor of Deerfield, and the trial court’s final judgment
    reflecting the jury’s verdict in favor of Earwood.
    Discussion
    Keller sets forth four arguments on appeal: (i) the trial court erred in granting
    summary judgment in favor of Deerfield on the claim that Deerfield ratified
    Earwood’s sexual battery; (ii) the trial court erred in granting summary judgment in
    favor of Deerfield on the claim for negligent retention and supervision of Earwood;
    (iii) the trial court erred by overruling her objection to the admission of opinion
    testimony by James Parsons, M.D.; and (iv) the trial court erred by excluding
    evidence of an alleged prior assault by Earwood against a Deerfield resident.
    I. Summary Judgment
    Keller first challenges the trial court’s grant of summary judgment in favor of
    Deerfield as to her claims for (i) ratification of Earwood’s sexual battery; and (ii)
    negligent retention and supervision of Earwood.
    A. Standard of Review
    Summary judgment is proper only if: “(1) the pleadings, depositions, answers
    to interrogatories, and admissions on file, together with the affidavits, show that
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
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    there is no genuine issue as to any material fact; and (2) the moving party is entitled
    to judgment as a matter of law.” Honeycutt v. Honeycutt, 
    208 N.C. App. 70
    , 77, 
    701 S.E.2d 689
    , 694 (2010) (citation omitted).
    In ruling on a motion for summary judgment, the trial court must view the
    evidence “in the light most favorable to the non-moving party.” RME Mgmt., LLC v.
    Chapel H.O.M. Assocs., LLC, 
    251 N.C. App. 562
    , 566, 
    795 S.E.2d 641
    , 644 (citation
    omitted), disc. review denied, 
    370 N.C. 213
    , 
    804 S.E.2d 546
     (2017). Furthermore, it
    is well established that
    [t]he party moving for summary judgment bears the
    burden of establishing that there is no triable issue of
    material fact. This burden may be met by proving that an
    essential element of the opposing party’s claim is
    nonexistent, or by showing through discovery that the
    opposing party cannot produce evidence to support an
    essential element of h[er] claim or cannot surmount an
    affirmative defense which would bar the claim.
    Badin Shores Resort Owners Ass’n v. Handy Sanitary Dist., 
    257 N.C. App. 542
    , 549,
    
    811 S.E.2d 198
    , 204 (2018) (citation omitted).
    “Once the party seeking summary judgment makes the required showing, the
    burden shifts to the non-moving party to produce a forecast of evidence
    demonstrating specific facts, as opposed to allegations, showing that [s]he can at least
    establish a prima facie case at trial.” 
    Id. at 550
    , 
    811 S.E.2d at 204
     (citation omitted).
    “[T]he non-moving party must forecast sufficient evidence to show the existence of a
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
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    genuine issue of material fact in order to preclude an award of summary judgment.”
    
    Id.
     (citation omitted).
    “Our standard of review of an appeal from summary judgment is de novo; such
    judgment is appropriate only when the record shows that there is no genuine issue
    as to any material fact and that any party is entitled to a judgment as a matter of
    law.” In re Will of Jones, 
    362 N.C. 569
    , 573, 
    669 S.E.2d 572
    , 576 (2008) (citation and
    internal quotation marks omitted). Indeed, “if a grant of summary judgment can be
    sustained on any grounds, it should be affirmed on appeal.” RME Mgmt., LLC, 
    251 N.C. App. at 567
    , 
    795 S.E.2d at 645
     (citation and internal quotation marks omitted).
    B. Analysis
    1. Ratification
    Keller first argues that the trial court “erroneously concluded that no
    reasonable jury could find that [her] forecast of evidence was sufficient to establish
    that Deerfield ratified Earwood’s conduct toward her, making Deerfield liable for the
    emotional distress she suffered as a result[.]” Specifically, Keller contends that
    Deerfield ratified Earwood’s sexual battery “by conducting an inadequate, skewed
    investigation and preventing other more objective agencies from investigating the
    alleged crime.” We disagree.
    To establish that an employer ratified the wrongful act of an employee, the
    plaintiff must show either (1) that “the employer had knowledge of all material facts
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    and circumstances relative to the wrongful act, and that the employer, by words or
    conduct, show[ed] an intention to ratify the act[,]” Brown v. Burlington Industr., Inc.,
    
    93 N.C. App. 431
    , 437, 
    378 S.E.2d 232
    , 236 (1989) (citation omitted), disc. review
    improvidently allowed, 
    326 N.C. 356
    , 
    388 S.E.2d 769
     (1990), or (2) “had knowledge of
    facts which would lead a person of ordinary prudence to investigate further[,]”
    Guthrie v. Conroy, 
    152 N.C. App. 15
    , 27, 
    567 S.E.2d 403
    , 412 (2002) (citation and
    internal quotation marks omitted). Ratification may be evidenced by “any course of
    conduct on the part of the principal which reasonably tends to show an intention on
    his part to ratify the agent’s unauthorized acts.” Brown, 93 N.C. App at 437, 
    378 S.E.2d at 236
     (citation omitted). Such course of conduct may involve a failure to act.
    See 
    id.
    Here, Keller contends that a reasonable jury could find that her forecast of
    evidence was sufficient to establish that Deerfield ratified Earwood’s alleged sexual
    battery, thus rendering Deerfield liable for Keller’s resulting emotional distress.
    Keller contends that the following demonstrates Deerfield’s intention to ratify
    Earwood’s conduct:
    a) Deerfield did not notify any law enforcement agency of
    [Keller’s] allegation against Earwood. The sexual assault
    certainly would constitute a crime, but Deerfield officials
    chose to conduct an investigation in house, rather than call
    in objective investigators with special skills in interviewing
    criminal suspects and victims.
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
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    b) Despite their knowledge of [Keller’s] memory issues,
    Deerfield’s officers did not seek the assistance of anyone
    trained in interviewing persons with dementia and chose
    not to videotape [Keller’s] account of what occurred so that
    a person with training could assess her credibility.
    c) Deerfield employees did not interview Earwood in
    person and thus had no opportunity to assess his
    credibility.     Parris, Deerfield’s Director of Quality
    Assurance, was placed in charge of the investigation. He
    elected to interview Earwood over the telephone and then
    asked Earwood to submit a written statement. Further, no
    one confronted Earwood about the significant
    inconsistency in his two accounts of what occurred in
    [Keller’s] room – whether he sat beside her on the bed or in
    front of her in a chair, or about the discrepancy between his
    description of his conduct after the alleged assault and the
    description provided by Nurse Ouellette.
    d) Deerfield omitted the significant fact in its reports to
    the Health Care Personnel Registry that [Keller] alleged
    that Earwood not only exposed his “private parts” but
    forced her to fondle his penis. Deerfield also stated in its
    first report, before any type of investigation, that there was
    no reasonable suspicion of a crime. Within less than 24
    hours, Deerfield officials decided to totally discount
    [Keller’s] account.
    e) Deerfield submitted inaccurate and misleading reports
    to the Health Care Personnel Registry – describing a less
    severe “exposure” incident – arguably to encourage the
    state agency to forego any investigation.
    f) No Deerfield employee interviewed or assessed [Keller]
    after 31 March 2015 – one day after the alleged assault.
    Yet, Deerfield reported to the State that [Keller] did not
    have mental anguish lasting five days or more and also
    maintained that [Keller] “totally forgot” the assault after
    one day.
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    g) Deerfield officials rejected the recommendation of its
    Director of Nursing and Director of Quality Assurance that
    Earwood’s employment be terminated.                  These
    recommendations were based in part on the fact that
    Earwood had “a couple of other disciplinary issues” and the
    fact that [Keller] had never made any sort of similar
    allegation during her time at Deerfield. . . .
    h) Deerfield’s President and CEO expressed a concern
    that, if [Keller’s] allegation was believed, a similar
    complaint could be lodged against him.
    i) After [Keller’s] report of abuse, Deerfield did not monitor
    Earwood’s interaction with other residents.            Rather,
    Deerfield’s nursing staff was instructed to institute
    behavioral monitoring of [Keller], specifically documenting
    her interaction with male residents. Nothing uncovered in
    Deerfield’s sham investigation suggested that [Keller]
    initiated or encouraged Earwood’s sexual advance. The
    decision to monitor her could be reasonably interpreted as
    a form of punishment for her report against Earwood.
    Keller’s allegations lack merit.       The acting director of nursing “was
    immediately notified of the incident[,]” and Earwood was questioned about the
    alleged sexual battery the same day that the allegation was made. Additionally,
    Earwood was suspended at once pending Deerfield’s internal investigation of the
    sexual battery allegation, and he was permitted to return to work only after Deerfield
    determined that Keller’s allegation could not be substantiated. Upon his return,
    Earwood was assigned to work on a different hall where he did not have direct contact
    with Keller, and where he received a higher level of supervision.
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    Opinion of the Court
    Furthermore, Deerfield fully cooperated with all third-party investigations.
    Under N.C. Gen. Stat. § 131E-256(a), the North Carolina Department of Health and
    Human Services must
    establish and maintain a health care personnel registry
    containing the names of all health care personnel working
    in health care facilities in North Carolina who have:
    (1) Been subject to findings by the Department [of
    Health and Human Services] of:
    a. Neglect or abuse of a resident in a health care
    facility or a person to whom home care services as
    defined by [N.C. Gen. Stat. §] 131E-136 or hospice
    services as defined by [N.C. Gen. Stat. §] 131E-201
    are being provided.
    ....
    (2) Been accused of any of the acts listed in subdivision
    (1) of this subsection, but only after the Department [of
    Health and Human Services] has screened the
    allegation and determined that an investigation is
    required.
    The Health Care Personnel Registry shall also contain
    findings by the Department [of Health and Human
    Services] of neglect of a resident in a nursing facility or
    abuse of a resident in a nursing facility or misappropriation
    of the property of a resident in a nursing facility by a nurse
    aide that are contained in the nurse aide registry under
    [N.C. Gen. Stat. §] 131E-255.
    N.C. Gen. Stat. § 131E-256(a) (2019); see also id. § 131E-1(1).
    To facilitate this process, health care facilities must submit certain reports
    when residents allege abuse against health care personnel at the facilities, which the
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
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    Department then screens to determine whether an investigation is required. On 31
    March 2015, Deerfield submitted to the Health Care Personnel Registry the required
    24-Hour Initial Report, followed by the requisite 5-Working Day Report on 6 April
    2015. See id. § 131E-256(g) (“The results of all investigations must be reported to the
    Department [of Health and Human Services] within five working days of the initial
    notification to the Department.”); see also id. § 131E-1(1).
    On 8 April 2015, the Health Care Personnel Registry wrote to Deerfield, noting
    that it had “carefully review[ed] the reported allegation,” and “determined that an
    investigation w[ould] not be conducted in this case.” Then, between 15 and 18 June
    2015, personnel from the North Carolina Division of Health Services Regulation
    conducted an on-site investigation at Deerfield, and determined that “[b]ased on
    observations, record review, staff, resident, and family interviews this allegation
    could not be substantiated at the time of the investigation.” Thereafter, during June
    and July 2015, DSS Adult Protective Services agents conducted an on-site
    investigation. Noting that there was “no evidence” that Keller was abused, DSS
    determined that the allegation was unsubstantiated, and concluded that Keller did
    not need protective services.
    Moreover, contrary to Keller’s assertions on appeal, Keller did not forecast
    “evidence demonstrating specific facts” in support of her allegations that she suffered
    emotional distress as a result of the alleged battery, or that Deerfield forced her to
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
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    relocate to another facility. Badin Shores Resort Owners Ass’n, 
    257 N.C. App. at 550
    ,
    
    811 S.E.2d at 204
    . In fact, at her 14 July 2017 deposition, Leslie testified that, since
    March 2015, no mental health professional had diagnosed Keller with “any mental or
    emotional condition related to” the alleged events; Keller had not been “prescribed
    any kind of antidepressant or antianxiety medication for anything” related to the
    alleged events; no healthcare professional had diagnosed Keller as suffering from any
    kind of mental anguish; and Keller had not been seen by any “therapist, counselor,
    [or] mental health professional, for . . . anything relating to” the alleged event.
    “As discussed above, [Keller], as the non-movant, must come forward with facts
    to counter a proper motion for summary judgment. The official record contains no
    factual evidence showing” that Deerfield ratified Earwood’s conduct. Graham v.
    Hardee’s Food Sys., 
    121 N.C. App. 382
    , 387, 
    465 S.E.2d 558
    , 561 (1996).
    Accordingly, the trial court properly granted summary judgment in favor of
    Deerfield as to Keller’s claim of ratification.
    2. Negligent Supervision and Retention
    “North Carolina recognizes a cause of action for negligent supervision and
    retention as an independent tort based on the employer’s liability to third parties.”
    Smith v. Privette, 
    128 N.C. App. 490
    , 494, 
    495 S.E.2d 395
    , 398 (1998) (citation
    omitted). “This basis for imposing liability upon the [employer] for an assault by his
    employee is . . . the negligence of the [employer], himself, in the selection or
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    Opinion of the Court
    supervision of his employee.” Wegner v. Delly-Land Delicatessen, Inc., 
    270 N.C. 62
    ,
    65, 
    153 S.E.2d 804
    , 807 (1967).
    “A presumption exists that an employer has used due care in hiring his
    employees.” Stanley v. Brooks, 
    112 N.C. App. 609
    , 612, 
    436 S.E.2d 272
    , 274 (1993)
    (citation omitted), disc. review denied, 
    335 N.C. 772
    , 
    442 S.E.2d 521
     (1994). To
    overcome this presumption, “[t]he burden rests with the plaintiff to show that [s]he
    has been injured as a result of the employer’s negligent hiring if the employer had
    actual or constructive knowledge of the employee’s incompetency.”                
    Id.
     (citation
    omitted).
    To succeed on a claim for negligent supervision or retention, the plaintiff must
    prove:
    (1) the specific negligent act on which the action is
    founded[;] (2) incompetency, by inherent unfitness or
    previous specific acts of negligence, from which
    incompetency may be inferred; . . . (3) either actual notice to
    the master of such unfitness or bad habits, or constructive
    notice, by showing that the master could have known the
    facts had he used ordinary care in oversight and
    supervision[;] and (4) that the injury complained of resulted
    from the incompetency proved.
    Medlin v. Bass, 
    327 N.C. 587
    , 591, 
    398 S.E.2d 460
    , 462 (1990) (first emphasis added)
    (citations and internal quotation marks omitted).
    Accordingly,
    employers of certain establishments can be held liable to
    an invitee therein assaulted by an employee of the place of
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    business whom the employer knew, or in the exercise of
    reasonable care in the selection and supervision of his
    employees should have known, to be likely, by reason of
    past conduct, bad temper or otherwise, to commit an
    assault, even though the particular assault was not
    committed within the scope of the employment.
    Stanley, 
    112 N.C. App. at 611
    , 
    436 S.E.2d at 273
     (citation and internal quotation
    marks omitted).
    On appeal, Keller argues that she presented evidence from which a reasonable
    jury could have concluded that Deerfield should have known that Earwood was
    dangerous to residents and unfit for his job. In particular, Keller submits that she
    forecast sufficient evidence to establish that Deerfield was aware that Earwood posed
    a threat to its residents, yet continued to allow Earwood to interact with vulnerable
    individuals.
    Keller, “as the non-movant, must come forward with facts to counter a proper
    motion for summary judgment. The official record contains no factual evidence
    showing” that Deerfield had knowledge of Earwood’s alleged proclivity for sexual
    misconduct. Graham, 
    121 N.C. App. at 387
    , 
    465 S.E.2d at 561
    . In fact, the record is
    replete with evidence demonstrating that Deerfield did not have such notice.
    Prior to hiring Earwood, Deerfield “completed a background check, and
    fingerprints had gone to the SBI and FBI.         All checks had come back with no
    violations of any kind. The Health Registry check had come back with no violations.”
    Additionally, Earwood was suspended pending Deerfield’s investigation and was
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    permitted to return to work only after Deerfield determined that Keller’s allegation
    could not be substantiated. Thus, it cannot be said that prior to the alleged act,
    Deerfield knew or had reason to know of Earwood’s alleged potential for battery. See
    
    id. at 385
    , 
    465 S.E.2d at 560
    .
    Finally, we note that following a jury trial, Earwood was unanimously found
    not to have sexually battered Keller, and Judge Lock entered a judgment reflecting
    the verdict on 6 November 2018. “[W]here the agent has no liability, there is nothing
    from which to derive the principal’s liability[.]” Cameron Hospitality, Inc. v. Cline
    Design Assocs., 
    223 N.C. App. 223
    , 226, 
    735 S.E.2d 348
    , 351 (2012) (citation omitted),
    disc. review denied, 
    366 N.C. 564
    , 
    738 S.E.2d 370
     (2013). Keller’s claims against
    Deerfield are dependent upon the alleged tortious conduct of Earwood. “The only
    tortious conduct by an employee of [Deerfield’s] that [Keller] has alleged is the acts
    of [Earwood,] which were the basis of her claims against him.” Graham, 
    121 N.C. App. at 385
    , 
    465 S.E.2d at 560
    . “[I]t has been judicially determined that” Earwood
    “is not liable for any tortious conduct[,]” and Keller “has not shown that an employee
    of [Deerfield] committed a tortious act”; thus, “this cause of action fails.” 
    Id.
    Accordingly, the trial court did not err by granting summary judgment in favor
    of Deerfield on Keller’s claim for negligent supervision and retention.
    II. Dr. Parsons’s Testimony
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    Keller next argues that the trial court committed reversible error by overruling
    her objections to opinion testimony by Dr. James Parsons. Specifically, Keller argues
    that Dr. Parsons’s testimony “was entirely speculative and highly prejudicial”
    because his testimony that Keller’s “medication may have caused her to ‘hallucinate’
    ” was an improper opinion, in that it was formed “without ever even meeting [Keller]
    in person.” We disagree.
    A. Standard of Review
    As a general matter, “evidentiary errors are considered harmless unless a
    different result would have been reached at trial.” Union Cty. Bd. of Educ. v. Union
    Cty. Bd. of Comm’rs, 
    240 N.C. App. 274
    , 283, 
    771 S.E.2d 590
    , 596 (2015) (citation
    omitted). “[O]n appeal . . . the burden is on the appellant to not only show error, but
    also to show that [s]he was prejudiced and a different result would have likely ensued
    had the error not occurred.” Outlaw v. Johnson, 
    190 N.C. App. 233
    , 247, 
    660 S.E.2d 550
    , 561 (2008) (citation and internal quotation marks omitted).
    “We . . . review a trial court’s ruling on the admission or exclusion of expert
    testimony for abuse of discretion.” N.C. Dep’t of Transp. v. Mission Battleground
    Park, DST, 
    370 N.C. 477
    , 480, 
    810 S.E.2d 217
    , 220 (2018) (citation omitted). “A trial
    court abuses its discretion if its decision is manifestly unsupported by reason or is so
    arbitrary that it could not have been the result of a reasoned decision.” Pope v. Bridge
    - 18 -
    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    Broom, Inc., 
    240 N.C. App. 365
    , 369, 
    770 S.E.2d 702
    , 707 (citations and internal
    quotation marks omitted), disc. review denied, 
    368 N.C. 284
    , 
    775 S.E.2d 861
     (2015).
    B. Analysis
    Expert-witness testimony is governed by Rule 702 of the North Carolina Rules
    of Evidence. See N.C. Gen. Stat. § 8C-1, Rule 702. Subsection (a) of Rule 702
    provides:
    If scientific, technical or other specialized knowledge will
    assist the trier of fact to understand the evidence or to
    determine a fact in issue, a witness qualified as an expert
    by knowledge, skill, experience, training, or education, may
    testify thereto in the form of an opinion, or otherwise, if all
    of the following apply:
    (1) The testimony is based upon sufficient facts or
    data.
    (2)   The testimony is the product of reliable
    principles and methods.
    (3) The witness has applied the principles and
    methods reliably to the facts of the case.
    Id. § 8C-1, Rule 702(a).
    Expert “[t]estimony in the form of an opinion or inference is not objectionable
    because it embraces an ultimate issue to be decided by the trier of fact.” Id. § 8C-1,
    Rule 704. Moreover,
    [t]he facts or data in the particular case upon which an
    expert bases an opinion or inference may be those
    perceived by or made known to him at or before the
    hearing. If of a type reasonably relied upon by experts in
    the particular field in forming opinions or inferences upon
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    the subject, the facts or data need not be admissible in
    evidence.
    Id. § 8C-1, Rule 703.
    The “facts or data upon which an expert bases an opinion may be derived from
    three possible sources[,]” including “the personal observation of the witness[,]”
    “presentation at trial by a hypothetical question or by having the expert attend the
    trial and hear the testimony establishing the facts[,]” and “presentation of data to the
    expert outside of court.” Id. cmt. Indeed, “an expert may testify as to the facts upon
    which his opinion is based, even though the facts would not be admissible as
    substantive evidence.” Id. cmt.
    On appeal, Keller argues that Earwood’s expert witness, Dr. Parsons, “based
    his testimony entirely on the medical records of [Keller’s] primary care physician and
    the depositions taken in this case[,]” rendering it “entirely speculative and highly
    prejudicial.” This argument ignores the plain language of Rule 703, as well as our
    robust body of case law construing it.
    Rule 703 explicitly permits an expert witness to base his opinion on records
    and deposition testimony. See N.C. Gen. Stat. § 8C-1, Rule 703 (providing that the
    “facts or data in the particular case upon which an expert bases an opinion or
    inference may be those perceived by or made known to him at or before the hearing”
    (emphasis added)). Moreover, “[i]t is well settled that an expert witness need not
    testify from firsthand personal knowledge, so long as the basis for the expert’s opinion
    - 20 -
    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    is available in the record or on demand.” Martishius v. Carolco Studios, Inc., 
    142 N.C. App. 216
    , 222, 
    542 S.E.2d 303
    , 307 (2001) (citation omitted), aff’d, 
    355 N.C. 465
    ,
    
    562 S.E.2d 887
     (2002).
    Here, there is no question that Keller had full access to the materials from
    which Dr. Parsons formed his opinion, all of which are available in the record.
    Moreover, Keller incorrectly states that Dr. Parsons “never expressed his
    opinions to a reasonable degree of medical certainty or probability.” During voir dire,
    Dr. Parsons testified that he based his opinion on Keller’s medical records and Leslie’s
    perceptions of Keller:
    [DR. PARSONS:] I think there’s enough documentation in
    [Keller’s physician’s] records that this lady – well, not only
    in his records per his perception, but also the daughter’s
    perception that [Keller’s] dementia was getting worse, that
    there was certainly evidence of her having some delusions,
    if not hallucinations, and that more . . . likely than not this
    was a manifestation of her dementia and unlikely that it
    would be an actual event.
    [DEFENSE COUNSEL:] And that’s an opinion you hold to
    a reasonable degree of medical certainty?
    [DR. PARSONS:] I think the medical records justify that,
    yes.
    (Emphases added).
    Dr. Parsons then explained that he formed his opinion from facts gleaned upon
    review of Keller’s medical records. Dr. Parsons stated, in relevant part:
    - 21 -
    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    [DR. PARSONS:] I think one of the earliest things that
    impressed me was this note from [Keller’s physician] in
    January of 2012 in which it says that [another physician]
    [in] December of 2011 prescribed Aricept. And it says
    [Keller] only took Aricept for about six days, but then she
    stopped it due to side effect concerns. It has been some
    possible delusional paranoid behavior as she accused her
    daughter-in-law of stealing some jewelry that cannot be
    located.
    So I mean, that impressed me that there was a
    medication that induced a sudden worsening which comes
    into play prior to this incident [o]n March 30th because she
    was started on sort of a similar medication, Namenda, just
    a few weeks before that. But through this record it talks
    about, you know, the signs and symptoms of worsening
    dementia.
    ....
    [DEFENSE COUNSEL:] . . . [Y]ou mentioned a moment
    ago that [Keller] had been put on some medications a few
    weeks before the allegations in this case.
    [DR. PARSONS:] Yes.
    ....
    Q. And the last time she was placed on a medication like
    Namenda, the Aricept, [Keller] exhibited some delusional
    paranoid behaviors?
    A. Yes.
    After the trial court noted that “Rule 704 . . . allows an expert to testify in the
    form of an opinion, even though the opinion may embrace the ultimate issue to be
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    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    decided by the trier of fact[,]” Keller’s counsel explained the basis of Keller’s objection
    to Dr. Parsons’s testimony:
    Really, the basis was the way the question was worded,
    that he asked do you have opinions about her allegation?
    And then he added and whether or not – or its relationship
    to her dementia. I’m objecting to the – I don’t think he can
    testify I don’t believe her. You know, I think he did testify
    as he’s described here, that I’m a medical doctor, I’ve seen
    this, I’ve read her records, this is my medical opinion. I
    don’t believe he can testify about whether or not he believes
    her. He can testify he thinks this is probably a delusion.
    In denying Keller’s motion to strike Dr. Parsons’s testimony, the trial court stated
    that “during the voir dire . . . held outside the jury’s presence, he did express his
    opinions to a reasonable degree of medical certainty.” (Emphasis added).
    In addition, a second expert witness, Dr. Andrew Farah, later testified “[t]o a
    reasonable degree of medical certainty” that he “couldn’t disagree” with Dr. Parsons’s
    opinion that Keller’s “medication changes could be related to an increase in delusions”
    and that he thought that Dr. Parsons was “spot on” regarding the likelihood that
    Keller’s medication may have caused her to hallucinate:
    [DR. FARAH:] I couldn’t argue with [Dr. Parsons’s]
    premise that [Aricept and Namenda] can cause delusional
    thinking. They can. I mean, that’s a known side effect. I
    think in my experience sometimes I don’t know if it’s the
    drug or just the disease progression or some combination
    of both that’s causing the delusion.
    [DEFENSE COUNSEL:] All right. We saw when [Keller]
    tried the trial of Aricept back in 2012 there were some
    delusional paranoid behavior[s]. Do you recall seeing that?
    - 23 -
    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    A. Correct.
    Q. Would the potential side effects of Namenda when it
    was tried in the spring of 2015 be similar to the side effects
    of Aricept?
    A. Yes. I mean, a textbook answer, yes. I think there’s a
    tremendous variability from patient to patient and some
    may tolerate one and not the other, but in general they are
    similar. You would expect it to cross over in those side
    effects.
    Keller’s counsel also elicited testimony from Dr. Farah about the possibility of
    medication-induced delusions. Moreover, like Dr. Parsons, Dr. Farah formed his
    expert opinion based on a review of Keller’s medical records and without meeting
    with her personally.
    The trial court did not err by overruling Keller’s objection to Dr. Parsons’s
    opinion testimony. But even if the trial court erred by permitting Dr. Parsons to base
    his expert opinion testimony entirely on Keller’s medical records and the depositions
    taken in this case, such error would have been harmless, given Dr. Farah’s similar
    testimony to which Keller did not object, and a portion of which she actually elicited.
    See Union Cty. Bd. of Educ., 240 N.C. App. at 283, 771 S.E.2d at 596; see also Frugard
    v. Pritchard, 
    338 N.C. 508
    , 512, 
    450 S.E.2d 744
    , 746 (1994) (“A party may not
    complain of action which he induced.” (citations omitted)).
    III. Exclusion of Earwood’s Alleged Prior Assault
    - 24 -
    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    Finally, Keller argues that the trial court erred by excluding evidence of an
    alleged prior assault by Earwood against another Deerfield resident. Specifically,
    Keller argues that the trial court’s finding—that the prior incident during which
    Earwood allegedly choked another resident was not substantially similar to Keller’s
    allegation of sexual assault—was not supported by the evidence. We disagree.
    A. Standard of Review
    “We review de novo the legal conclusion that the evidence is, or is not, within
    the coverage of Rule 404(b). We then review the trial court’s Rule 403 determination
    for abuse of discretion.” State v. Schmieder, __ N.C. App. __, __, 
    827 S.E.2d 322
    , 326
    (citation omitted), disc. review denied, 
    372 N.C. 711
    , 
    830 S.E.2d 832
     (2019).
    Again, “evidentiary errors are considered harmless unless a different result
    would have been reached at trial.” Union Cty. Bd. of Educ., 240 N.C. App. at 283,
    771 S.E.2d at 596 (citation omitted). “[T]he burden is on the appellant to not only
    show error, but also to show that he was prejudiced and a different result would have
    likely ensued had the error not occurred.” Outlaw, 
    190 N.C. App. at 247
    , 
    660 S.E.2d at 561
     (citation omitted).
    B. Analysis
    Rule 404(b) permits the admission of “evidence of other crimes, wrongs, or
    acts” for purposes other than to show that the defendant “acted in conformity
    therewith.” N.C. Gen. Stat. § 8C-1, Rule 404(b). Rule 404(b)
    - 25 -
    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    is a general rule of inclusion of relevant evidence of other
    crimes, wrongs or acts by a defendant, subject to but one
    exception requiring its exclusion if its only probative value
    is to show that the defendant has the propensity or
    disposition to commit an offense of the nature of the crime
    charged.
    Schmieder, __ N.C. App. at __, 
    827 S.E.2d at 326
     (citation and internal quotation
    marks omitted). “Such evidence may be admitted under this rule as proof of motive,
    opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake,
    entrapment or accident.” 
    Id.
     (citation and internal quotation marks omitted).
    At trial, Keller sought to introduce evidence of an alleged prior assault by
    Earwood against another Deerfield resident. Keller’s counsel explained the basis for
    introducing evidence of the alleged prior assault, noting that a jury could find that
    the alleged prior assault was “an incident similar enough to what happened here to
    give some indication as to [Earwood’s] propensity to engage in that kind of conduct[,]”
    and could determine that Earwood is a “dangerous person.” (Emphasis added).
    Even assuming, arguendo, that the alleged acts were substantially similar,
    Keller’s sole purpose in proffering evidence of an alleged prior assault was to establish
    Earwood’s “propensity to engage in that kind of conduct.” Rule 404(b) explicitly
    requires the exclusion of evidence of other crimes, wrongs, or acts under these
    circumstances. Keller sought to admit evidence of Earwood’s alleged prior assault
    only to “prove character as a basis for suggesting the inference that conduct on a
    particular occasion was in conformity with it.” N.C. Gen. Stat. § 8C-1, Rule 404 cmt.
    - 26 -
    KELLER V. DEERFIELD EPISCOPAL RET. CMTY., INC.
    Opinion of the Court
    Thus, the trial court did not abuse its discretion in excluding evidence of an alleged
    prior assault by Earwood.
    Conclusion
    For the reasons stated herein, we hold that the trial court did not err by (i)
    granting summary judgment in favor of Deerfield; (ii) admitting Dr. Parsons’s expert
    opinion testimony; or (iii) excluding evidence of a prior alleged assault offered solely
    for the improper purpose of demonstrating Earwood’s propensity to commit similar
    acts against Keller. Accordingly, we affirm.
    AFFIRMED.
    Judges MURPHY and ARROWOOD concur.
    - 27 -
    

Document Info

Docket Number: 19-633

Filed Date: 6/2/2020

Precedential Status: Precedential

Modified Date: 7/29/2024